Registrant Regulation | Detailed Agenda

Registration and Continental Breakfast

Opening Comments From the Chair

Keynote Presentation

Now and the Years Ahead: Ongoing Priorities and Projects Being Developed by the Compliance and Registrant Registration branch

Registrant regulation continues to evolve for the benefit of industry, as well as investors. Understand the direction and course of the latest and newest regulator initiatives that will affect you, including:

• The priorities of the CRR branch over the next year
• The newest projects currently underway
• The status of the alternative dispute resolution and complaints

Gain new insight and greater understanding of the ongoing priorities and projects of the CRR branch.

Industry Expert: Derivatives Regulation

Derivative Regulatory Update for Canada and the U.S.: How to Prepare

In order to meet new obligations imposed by the G20, regulators globally are adopting financial market regulatory reforms. Gain timely information on the regulatory changes occurring in Canada and the U.S., including how you can comply with amendments involving:

• OTC derivative registrant rules for swap dealers
• U.S. regime for regulation of CFTC registrant rules for swap dealers
• Mandatory clearing for swaps and swap data reporting requirements in Canada and the U.S.

Learn how derivative changes to the regulation of OTC derivatives within North America will affect you, and how to remain compliant.

Morning Break

Interact with conference speakers and fellow attendees.

Client Relationship Model

Assess How the Industry is Preparing to Comply

The Client Relationship Model (CRM) is a comprehensive reform package designed to enhance disclosure to clients and client protection. CRM is being implemented in stages. The stages include enhanced suitability assessment requirements, relationship disclosure, and account performance reporting. These requirements impact all categories of registered dealers and registered advisers, with some extending to investment fund managers. Is your firm prepared to respond to these requirements? Learn what you need to do to stay current on:

• Suitability triggers and assessments
• Requirements for fee disclosure including the disclosure of trailing commissions
• Changes to performance reporting and performance calculations
• Expansion of client statements
• Transition periods affecting registrants

Take back the latest information to ensure you remain compliant with CRM.

Luncheon

Join conference speakers and your peers for a relaxing luncheon.

When the Regulators Come

Preparing for and Surviving Compliance Examinations

The auditing process can be extensive and overwhelming. Prepare for your reviews by analyzing and assessing what you need to have in order. Learn how you can effectively execute and pass compliance examinations and audits.

• Understand what regulators are looking for
• What you can do to prepare
• How to prepare senior management
• Tips for being review-ready
• Managing the audit process

Take away strategies to ensure that your organization is ready for the next audit.

Exempt Market Dealers Panel

Interpret and Comply with Upcoming Regulations

Exempt market dealers remain within the specific targets for reviews and further regulation by the CSA. Learn from these industry experts on how you can abide by the new requirements and potential additional requirements.

• Identify policies for supervision
• Recognize compliance deficiencies found by regulators
• Learn the differences between raising capital using OM exemption vs. the Accredited Investor exemption

Gain insight into amendments for EMDs and learn how to comply with these regulations.

Mid-Afternoon Break

Interact with conference speakers and fellow attendees.

Industry Expert: Social Media

Compliance and Social Media: How to Use Social Media Responsibly

Social media provides a new dynamic when communicating with clients. Learn how you can adjust and create strategies for using social media tools within your firm and remain compliant at the same time.

• Improve and monitor transparency for social media and advisers
• Increase and balance your offerings in social media
• Utilize the right tools and make sure you are compliant

Maximize social media tools to benefit your clients and your firm.

Enforcement Panel

What You Need to Know to Navigate the Enforcement Process

Enforcement is gaining more prominence with increasing emphasis on referrals to Enforcement. Clarify what you need to do before, during, and after an investigation. Take advantage of this expert panel as we delve into:

• Advising your client
• Preparing for an interview
• Steps to avoid enforcement
• Recognizing how the enforcement process works
• Consolidated Enforcement rules and its impact

Gain insight into how the enforcement procedure works and how you should prepare.

Conference Adjourns to Day Two

Evening Social Activities

Network with industry leaders and stakeholders while enjoying some of the best Toronto has to offer. Start by joining fellow delegates and speakers for complimentary appetizers.

Registration and Continental Breakfast

Opening Comments From the Chair

Opening Keynote

How Investor Protection Initiatives are Building Confidence in Capital Markets

While Canada's financial system has fared well over the ongoing financial crisis, there are still opportunities to strengthen investor confidence in Canada's capital markets. IIROC is a strong advocate for high standards, conduct, and compliance. Take advantage of this opportunity to understand how IIROC is:

• Working to improve market regulations and oversight
• Collaborating and improving on surveillance and monitoring
• Issuing new guidance on emerging concerns to ensure market fairness (HFT/HOT)
• Working with industry, dealers, and other regulators to ensure Canada's capital markets continue to lead globally

Gain a first hand perspective on how investor protection initiatives are building consumer confidence in our Capital Markets.

Registrant Misconduct

What is the OSC Monitoring and How is Misconduct Being Enforced

Get an update on how the OSC is tackling registrant misconduct. Learn how they are responding to compliance deficiencies, including inappropriate applications for registration. Maintain an understanding on registrant misconduct and learn how you can comply.

• Settlements and how they impact compliance
• Registrant suspension
• Terms and conditions on registration and 3rd party monitoring

Gain further insight into how the OSC is controlling registrant misconduct including through ordering 3rd party monitoring.

Morning Break

Interact with conference speakers and fellow attendees.

Compensation Structures

Improve Disclosure by Getting Updates and Guidance on Compensation Structures

The CSA and IIROC are both exploring concepts related to investor fees and compensation structures. Disclosure may not be sufficient when investors continue to be confused as to what they are paying and to whom the fees are paid. Do compensation structures raise such conflicts of interest? Are mutual fund fees in Canada too high? Avoid this confusion and delve into:

• Benefits to clients in fee or commission-based accounts
• Compensation practices to minimize conflicts of interest
• What disclosure can accomplish
• Whether a debate on mutual fund fees is necessary

Learn the issues so you can be ready for the future.

Complaint Handling and Dispute Resolution: Know Your Capabilities

In order to help investors understand the resources available to them when filing a complaint, the CSA has proposed that OBSI be the common service for dispute resolution among registered dealers and advisers. Gain insight into what this process could look like and how you can prepare for it.

• Is the OBSI the right agency?
• Why is dispute resolution necessary?
• What is the right definition of "complaint"?
• How can you do the right thing for your clients?

Learn what the CSA's proposals for complaint handling and dispute resolution will mean for you.

Luncheon

Join the conference speakers and your peers for a relaxing luncheon.

Risk Management Practices

Manage your Operational and Regulatory Risks

With rules and internal processes frequently changing, implementing policies and procedures to address risks can be daunting. Analyze methods to manage your operational and regulatory risks.

• Identify high-risk areas that require risk controls and oversight
• Improve and update risk controls under constantly changing regulations and internal processes
• Coordinate risk assessment, risk controls, required records, and testing

Develop compliance efficiency by restructuring your process and improving risk controls at the same time.

How to Improve Your Handling of Compliance Deficiencies

Improve your compliance with securities laws by identifying common deficiencies and how to overcome them. Take away strategies to:

• Assess your capital calculations to increase understanding and awareness
• Identify shortcomings in your books and records to remain accountable
• Understand what the CSA considers important and what they focus on during a review

Strengthen and enforce written policies that cover all details of your firm to remain compliant.

Mid-Afternoon Break

Interact with conference speakers and fellow attendees.

Fiduciary Responsibilities for Dealers and Advisers and How it Will Affect Your Firm

Canada has already established rules for dealers and advisers that specify standards for dealing with clients. Learn about the increased responsibilities dealers and advisers will have to adjust to and how it will affect your business.

• Consider whether Canada needs to fall in line with other countries and their mandates/policies for fiduciary responsibilities
• Analyze how specific client relationships are viewed
• Determine what existing policies you may have to change

Understand fiduciary responsibilities, and what it will mean for your firm.

Panel: Regulators and Retail Advisers

Understand How the Relationship Between Advisers and Investors Could Change

As rules constantly change, with the focus on the importance of protecting investors at the forefront, what can retail advisers do to comply with these rules? What are the effects of these coming changes for both investors and their advisers? Learn how you can acquire answers to the frequent rule changes. Take advantage of this expert panel as we delve into:

• What registrants need to do to be compliant
• What level of reporting can be expected
• How operational effectiveness can be improved

Take advantage of this interactive panel to gain solutions to your challenges.

Conference Adjourns